DFX Intelligence

P••• G•••• F••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

P••• G•••• F••••••••• I•••

CRD 116508

OKLAHOMA CITY, OK

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Search this name across graphsid dfx:ria:10ca14d1-a156-15e1-9367-7eb188e1021c

Data as of Apr 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 45
Dated events: 12
On other graphs: 0
Observed: Mar 30, 2020 to Apr 6, 2026
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=7.0
Regulatory AUM: $690M••• Locked
Discretionary RAUM: $683M
Private client RAUM: $690Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 18
RAUM per advisor: $38.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••• H•••• H•••••••	n/a	Oklahoma City, OK \| OKLAHOMA CITY, OK	4	43	n/a	yes
D•••••• R•• C•••••••	n/a	OKLAHOMA CITY, OK	3	22

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• D••••••• R••	President	E	yes	03/2017	Mar 30, 2020	Jul 31, 2024
W••••••• C•••• O•••	DIRECTOR OF OPERATIONS	Na	yes	10/2022	Mar 30, 2023	Jul 31, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
GRAND ISLAND	Ne	United States	3	no
Kearney	Ne	United States	3	no
OKLAHOMA CITY	Ok	United States	3	no
Phoenix	Az	United States	2	no
Bentonville	Ar	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 6, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	4	3

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$690M	$541M	27.5%	$242M	41.8%	29	27	8	8

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••• C•••••• M••••••••• L••	2	Nov 9, 2023	Nov 1, 2023	OKLAHOMA CITY, OK	Team lift out	RIA to RIA	18.2%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E•••• S••••••••• L••	2	Jan 16, 2026	Jan 12, 2026	OKLAHOMA CITY, OK	Team lift out	Ibd to RIA	0.1%
S•••• M•••• G••••• L••	2	Oct 27, 2020	Sep 3, 2019

Relationships

Registered with (23)

← J•••• D••••• W•••••Advisorregistration: current employment
Jun 1, 2026 to presentfactForm ADV
← A••••• M• H•••••••Advisorregistration: previous registration
Feb 24, 2025 to Jan 14, 2026factForm ADV
← H••••••• R•••• N••••••Advisorregistration: current employment
Feb 2, 2026 to presentfactForm ADV
← S•••••• C• J••••••

Dated events

Occurred
Mar 25, 2026
Regulatory AUM changed
P••• G•••• F••••••••• I••• reported RAUM $690.3M, up 28% from $541.4M (2025-03-28 to 2026-03-25)
Form ADVobserved 7 days ago
$149M
Occurred
Jan 16, 2026
Team lift-out
2 advisors left E•••• S••••••••• L•• (Oklahoma City, OK) for P••• G•••• F••••••••• I••• within 4 days
Form ADVobserved 7 days ago
2 advisors
Occurred
Jun 2, 2025
Advisor changed firm
Joshua Tyler Swanson left P••• G•••• F••••••••• I••• for Gladstone Wealth Partners (registered 2025-05-22)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:10ca14d1-a156-15e1-9367-7eb188e1021c
First observed: Mar 30, 2020
Last observed: Apr 6, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.